WECC Compliance Committee Meeting

1. WECC Compliance Committee Meeting September 18th, 2013 Salt Lake City, Utah John Hagen http://finance.groups.yahoo.com/group/wicf/

2. Strategic Direction Agenda WICF 2013 CIP Peer Sharing Event Highlights WICF Forum Growth/Outreach WICF/WECC Collaborative Efforts Focus Groups Maturing Process WICF Membership Perspective

3. 2013 CIP Peer Sharing Event Last week: September 11th-12th Puget Sound Energy, Belleview, WA Participants from all western states Here are a few survey results…

4. 2013 CIP Peer Sharing Event Survey Results Given your experience at this WICF Peer Sharing Event, would you be willing to attend a future WICF peer sharing event? 100% Yes 0% No

5. 2013 CIP Peer Sharing Event Survey Results Is your registered entity scheduled for a WECC audit in the next six months to a year? 65% Yes 35% No

6. 2013 CIP Peer Sharing Event Survey Results If WICF were to have a functionality specific peer sharing events would you attend for: GO/GOP=100%(Begun 2014 plan) TO/TOP=92% LSE=58%

7. 2013 CIP Peer Sharing Event Survey Comments Other comments: Excellent event, good information and networking. I enjoyed the open dialog and willingness to share. Great conversations and networking! Excellent open discussions and best practice sharing! I was grateful for people's honesty and perspective, we can all learn from each other if we're willing to share.

8. 2013 Forum Growth WICF Forum has increased to 785 members (June 2013) Voluntary (no membership dues)

9. 2013 Forum Outreach 2nd WICF CIP Peer Sharing Event in September 2013 Puget Sound Energy (PSE) Closed to consultants WICF meetings in conjunction with WECC Compliance User Group (CUG) and now WECC CIPUG meetings

10. 2013 Collaborative Efforts with WECC WECC’s Staff-Laura Scholl and Connie White have engaged WICF with: BES conceptual processes (Prior to NERC direction) Canadian outreach efforts Brent Castagnetto (CIP-002 survey/TFE) Other registered entity surveys WICF Focus Group WECC staff liaisons WCC Meetings-quarterly participates (WCC requests?) WICF SC May Offsite Strategic Direction-LS September WICF SC-WECC staff to attend

11. 2013 Focus Group (FG) Maturing Process 2012 initiative to engage members (150) Establish WICF agenda topics/presenters Formalized comments sent to both WECC and NERC for directives/initiatives Create best practices templates/materials Group sharing monthly meetings WICF refining Focus Group charters/policy

12. 2013 FG Membership Survey WICF Focus Groups have recently initiated and developed comments addressed to NERC/WECC on behalf of the WICF membership. As a WICF member, do you agree or disagree with this vetting process? YesNo 97% 3%

13. 2013 Focus Group (FG) Growth Internal Compliance Programs (ICP) CIP Standards and Compliance Strategies Generation Small Entities-Unique Challenges New Standard Implementation Communications Needs - both with agencies and internal with SMEs Document Management and Tracking – tools and processes NERC Alerts, Event Analysis and Compliance Assessments Peer Review/Audit Consulting Enforcement

14. ICP FG 1. What is the purpose of your focus group? -To promote, develop and endorse best practices for establishing and implementing an effective internal compliance program. 2. What materials do you provide to membership and how do they get them? -We have provided comments to the WECC ICPA and are in the process of developing an ICP template. These items can be found on the WICF membership site, under the ICP folder. 3. What is the FG spending their time working on? -Currently developing an ICP template and supporting the Internal Controls sub-group activities. 4. Are there topics and/or comments that your group wants to address with NERC and WECC? -ICP FG is actively working with WECC enforcement staff to provide feedback to ICPA template and review process.  Group has also raised concerns to NERC regarding regional consistency and transparency. 5. Number of participants ? -25 6. Any other items of interest?  -Majority of our members are participating on the Internal Controls sub-group.  This initiative has significant interest for the members.

15. CIP Standards and Compliance FG 1. What is the purpose of your focus group? -The purpose of the CIP Focus group is to provide an open forum for members to share CIP best practices, discuss areas of concern and promote a better understanding of current and future versions of the CIP standards and requirements. 2. What materials do you provide to membership and how do they get them? -The group recently posted our discussion about the CIP V5 FERC NOPR. It was sent via WICF e-mail and posted on the Yahoo site. We will also post our discussions about the Version 5 bright line criteria and requirements 3. What is the FG spending their time working on? • We recently finished up our discussion about the FERC CIP V5 NOPR and will continue our discussion on the Version 5 requirements 4. Are there topics and/or comments that your group wants to address with NERC and WECC? -Not currently 5. Number of participants ? -49 registered

16. Generation FG 1. What is the purpose of your focus group? -Facilitate knowledge, sharing of compliance lessons learned, and ideas relating to Generation in order to promote best practices to ensure both reliable and secure operation of the BES. 2. What materials do you provide to membership and how do they get them? -Periodic meetings, email communication between group members, work groups may consider developing templates for achieving compliance, develop understanding/impact of future standards, work with others as appropriate to understand issues, and communicate with WICF Membership, provide Focus Group Updates at meetings, and #1 value of the focus group is peer sharing. 3. What is the FG spending their time working on? -Generator Lead Lines, PER/VAR standards development, WECC Regional Criterion, WECC Bifurcation, BES definition, Peer Sharing.  Our Charter addresses HOT topics as they arise. 4. Are there topics and/or comments that your group wants to address with NERC and WECC? -The Generation FG wishes to communicate that they are a resource at the service of NERC and WECC – please let us know if you need industry feedback on any issues. 5. Number of participants ? -30 to 35

17. New Standard Implementation FG 1. What is the purpose of your focus group? -To assist the membership in successfully planning and implementing changes to their compliance program based on new and revised standards.  2. What materials do you provide to membership and how do they get them? -We provide impact assessments, templates, guidance documents depending on impact. We have also worked with WECC and NERC to provide clarification to the membership when requested.  3. What is the FG spending their time working on? • New/revised standards 4. Are there topics and/or comments that your group wants to address with NERC and WECC? -Not at this time 5. Number of participants ? -over 20

18. Communications FG 1. What is the purpose of your focus group? -To provide information and tools to improve communication and coordination.  2. What materials do you provide to membership and how do they get them? -Plan to provide requirement spreadsheets, forms, process information. These will be saved onto the WICF site. 3. What is the FG spending their time working on? -Currently making a spreadsheet of all communication and coordination requirements. This was identified as a top priority by WICF members 4. Are there topics and/or comments that your group wants to address with NERC and WECC? -Perhaps in the future 5. Number of participants ? -over 10

19. 2013 Membership Survey What do you think are the most significant values WICF brings to you as a member? Sharing best compliance practices Working with WECC/NERC to problem solve industry concerns Sharing audit experiences-(Does WECC have suggestions on best RE audits?) Focus Groups Representation at WECC Board Meetings

20. Closing Thoughts WICF appreciates WCC support! Please let WICF know how we can work to enhance collaboration with WECC, so the Compliance Committee is informed about compliance topics in the Western Interconnection.